William R. Wanasek
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Robert Wanasek was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1987. William had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2015 - March 12, 2015
SII INVESTMENTS, INC.
January 2, 2015 - March 12, 2015
SII INVESTMENTS, INC.
December 16, 2009 - December 31, 2014
SII INVESTMENTS, INC.
December 16, 2009 - December 31, 2014
SII INVESTMENTS, INC.
January 18, 2007 - December 24, 2009
GUNNALLEN FINANCIAL, INC
February 16, 2006 - February 16, 2006
GUNNALLEN FINANCIAL, INC
July 7, 2005 - July 14, 2005
GUNNALLEN FINANCIAL, INC
July 7, 2005 - December 24, 2009
GUNNALLEN FINANCIAL, INC
November 16, 2000 - November 28, 2006
SCHENCK FINANCIAL SOLUTIONS LLC
May 1, 1998 - July 11, 2005
SII INVESTMENTS, INC.
October 20, 1987 - May 18, 1989
PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 28
Date: 7/8/1998
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
Red Flags
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